DTFH6116RA00002
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U.S. Department of Transportation
Notice of Funding Opportunity NumberDTFH6116RA00002
“Beyond Traffic: The SmartCity Challenge”
Issue Date: 12/7/2015
Application Due Date: 2/4/2016
TABLE OF CONTENTS
SECTION / TITLE / PAGEN/A / SUMMARY INFORMATION AND WEBINAR DETAILS / 3
A / PROGRAM DESCRIPTION / 6
B / FEDERAL AWARD INFORMATION / 23
C / ELIGIBILITY INFORMATION / 25
D / APPLICATION AND SUBMISSION INFORMATION / 26
E / APPLICATION REVIEW INFORMATION / 35
F / FEDERAL AWARD ADMINISTRATION INFORMATION / 38
G / FEDERAL AWARDING AGENCY CONTACTS / 43
TheFHWA is using for issuance of this Notice of Funding Opportunity (NOFO). Applicants must register at grants.gov under NOFO Number DTFH6116RA00002 to receive notifications of updates/amendments to this NOFO. It is the Applicant’s responsibility to monitor the grants.gov site for any updates/amendments to this NOFO.
Summary InformationFunding Opportunity Summary:
/ Up to $40 Million in Federal Funding for aMid-Sized City to Conduct aSmartCity Demonstration
Federal Agency Name:
/ U.S. Department of Transportation (USDOT)Federal Highway Administration (FHWA)
Office of Acquisition and Grants Management
1200 New Jersey Avenue, SE
Mail Drop: E62-204
Washington DC 20590
Attn: Sarah Tarpgaard, HCFA-32
Funding Opportunity Title:
/ Beyond Traffic: TheSmartCity ChallengeAnnouncement Type:
/This is the initial announcement of this funding opportunity. This is not a follow-on notice.
Funding Opportunity Number:
/DTFH6116RA00002
Type of Award:
/Cooperative Agreements
Catalog of Federal Domestic Assistance (CFDA) Number:
/ 20.200 Highway Research & DevelopmentApplication Due Date:
/Applications Due by2/4/2016 at 3:00 pm Eastern Time by Email
Questions:
/ Submit Questions to:Funding Opportunity Informational Webinars
The United States Department of Transportation (USDOT) will host Informational Sessions regarding this Funding Opportunity focused on Beyond Traffic: TheSmart CityChallenge.Most of these sessions will be conducted in virtual forums and will focus on specific topics to help potential applicants gather additional information and ask specific questions.However, the Smart CityForumon December 15thwill be hosted in–person at the U.S. Department ofTransportation inWashington, DC (portions of this session will be available via webcast).Topics will range from discussing various technological strategies for advancing connected communities to specific questions regarding the application and award selection process.
Participation in any of these sessions is not mandatory in order to submit an application under this solicitation. However, we encourage potential applicants to take advantage of these opportunities to gather information regarding this specific funding opportunity.
Please note that in order to participate in any of the sessions -you must register. An email confirmation will be sent to all individuals who register. The USDOT will post all virtual session presentations at
Note: If necessary, the Government reserves the right to limit the number of participants from a party.
INFORMATIONAL SESSIONS: BEYOND TRAFFIC: THE SMART CITY CHALLENGE
SESSION: Virtual Webcast: The Smart City Challenge Launch with Secretary Anthony Foxx
DATE:12/8/2015
TIME:3:15 pm Eastern Time
LIVE STREAM:
SESSION:In Person: Smart CityForum
DATE:12/15/2015
TIME:9:00 am to 4:00 pm Eastern Time
LOCATION:U.S. Department of Transportation (1200 New Jersey Ave SE, Washington, DC)
REGISTRATION:
SESSION:Virtual: Data, Architecture, and Standards
DATE:12/16/2015
TIME: 1:00 to 2:30 pm Eastern Time
REGISTRATION:By 12/15/2015, at
SESSION:Virtual: Connected Vehicles and Automation
DATE:12/17/2015
TIME:1:00 to 2:30 pm Eastern Time
REGISTRATION:By 12/16/2015, at
SESSION:Virtual: The Sharing Economy, User-Focused Mobility, and Accessible Transportation
DATE:12/18/2015
TIME:1:00 to 2:30 pm Eastern Time
REGISTRATION:By 12/17/2015, at
SESSION:Virtual: The Smart City Challenge Application and Selection Process
DATE:12/21/2015
TIME:1:00 to 2:00pm Eastern Time
REGISTRATION:By 12/18/2015, at
Note: The USDOT will also consider conducting additional virtual and/or in person workshops regarding the Beyond Traffic: TheSmart CityChallengeFunding Opportunity.
SECTION A–PROGRAM DESCRIPTION
The USDOT is encouraging cities to put forward their best and most creative ideas for innovatively addressing the challenges they are facing.The vision of the Smart CityChallenge is to demonstrate and evaluate a holistic, integrated approach to improving surface transportation performance within a city and integrating this approach with other smart city domains such as public safety, public services, and energy. The USDOT intends for this challengeto address how emerging transportation data, technologies, and applications can be integrated with existing systems in a city to address transportation challenges. The USDOT seeks bold and innovative ideas for proposed demonstrations to effectively test, evaluate, and demonstrate the significant benefits of smart city concepts.
The USDOT will make an award of up to $40 Million awardfor one mid-sized citythat can demonstrate how advanced data and intelligent transportation systems (ITS) technologies and applications can be used to reduce congestion, keep travelers safe, protect the environment, respond to climate change, connect underserved communities, and support economic vitality.
The USDOT will issue two separate solicitations to carry out this challenge. This solicitation will result in selection of an estimated five Smart City Challenge Finalists who will receive funding to support concept development and planning activities. The follow-on second solicitation, which will be released in March 2015, will invite the Smart City Challenge Finalists to apply for funding to support implementation of their proposed demonstration.
This document is the first of the two solicitations. The purpose of this solicitation is to request applications from cities interested in conducting a Federally-funded Smart CityChallenge in their jurisdiction. This solicitation describes the USDOT’s high-level vision and goals for such a demonstration, and invites Applicants to submit their own high-level vision and goals for their proposed demonstrations.
The USDOT identified characteristics of a Smart City along with twelve vision elements – identified in the table below and defined in more detail in Section A of this funding opportunity. A successful Smart City Challenge would align with these characteristics and vision elements.
CHARACTERISTICS OF A SMART CITYThe ideal Smart City would have the following attributes:
- Population between approximately 200,000 and 850,000 people within city limits as of the 2010 Census;
- A dense urban population typical for a mid-sized American city;
- Represents a significant portion (more than 15%) of the overall population of its urbanized area using 2010 Census data;
- An existing public transportation system;
- An environment that is conducive to demonstrating proposed strategies;
- Continuity of committed leadership and capacity to carry out the demonstration throughout the period of performance;
- A commitment to integrating with the sharing economy; and
- A clear commitment to making open, machine-readable data accessible, discoverable and usable by the public to fuel entrepreneurship and innovation.
The city’s vision would align with some, or all of, the USDOT’s vision elements, and foster integration between elements. Vision elements for a Smart Cityinclude:
Technology Elements
- Urban automation
- Connected vehicles
- Intelligent, sensor-based infrastructure
- Architecture and standards
- Low cost, efficient, secure, and resilient Information and Communications Technology
- Smart land use
- Urban analytics
- User-focused mobility services and choices
- Urban delivery and logistics
- Strategic business models and partnering opportunities
- Smart grid, roadway electrification, and electric vehicles
- Connected, involved citizens
1.STATEMENT OF PURPOSE
Under this first solicitation, the USDOT hereby requests applications for assistance to result in awardsto selected“Smart CityChallenge Finalists”.The USDOT estimates selection of five Finaliststo receive fixed amount cooperative agreement awardsof Federal funding in the amount of $100,000 each. The fixed amount awards will provide Federal funding for concept development and planning activities such as development of technical demonstration plans and budget plan documents, and performance of pre-implementation planning.Deliverables for these awards are described in more detail later in this document.
Under the secondfollow-on solicitation, the USDOT intends to solicit applications for assistance to result in one award to provide funding support for the implementation of a Smart CityChallenge, in the estimated Federal funding amount of $40 Million. The planned separate competition will be a set-aside with competition limited to Smart CityChallenge Finalists selected hereunder.
The USDOT intends for the concept development $100,000 awards to support, prepare, and enable Finalists to submit detailed applications for demonstration implementation under the separately issued the USDOT solicitation.The USDOT intends for theconcept development $100,000 awards to allow each recipient to further their own Smart City plans even if they do not receive the Smart CityChallenge award. Finalists will participate in a number of planning, outreach and educational opportunities to further develop their plans.
The estimated timeline follows:
Estimated Date / ActionFebruary 2016 / Applications Due
March 2016 / Selected Smart CityChallenge Finalists Announced
March 2016 / Awards Issued to Smart CityChallenge Finalists
March 2016 / The USDOT Solicits Applications from Finalists for Smart CityChallenge Implementation
May 2016 / Applications Due from Finalists
June 2016 / Selected Smart CityChallenge Implementation Awardee Announced
2.LEGISLATIVE AUTHORITY
Specific statutory authority for conducting this effort is found in the Intelligent Transportation Systems Research Program in 23 U.S.C. §516(a), which authorizes the Secretary of Transportation to “…carry out a comprehensive program of intelligent transportation system research and development, and operational tests of intelligent vehicles, intelligent infrastructure systems, and other similar activities.”
Funding is authorized under §51001(a)(4) of Public Law 112-141, the Moving Ahead for Progress in the 21st Century Act (MAP-21) carry out sections 512 through 518 of 23 U.S.C.
The authority to enter into a cooperative agreementfor this effort is found under 23 US Code § 502 - Surface Transportation Research, Development, and Technology, paragraph (b)(3) which states:
“(3) cooperation, grants, and contracts.— The Secretary may carry out research, development, and technology transfer activities related to transportation—
(A) independently;
(B) in cooperation with other Federal departments, agencies, and instrumentalities and Federal laboratories; or
(C) by making grants to, or entering into contracts and cooperative agreements with one or more of the following: the National Academy of Sciences, the American Association of State Highway and Transportation Officials, any Federal laboratory, Federal agency, State agency, authority, association, institution, for-profit or nonprofit corporation, organization, foreign country, or any other person.”
3.BACKGROUND
In February of 2015, the United States Department of Transportation (USDOT) released “Beyond Traffic 2045: Trends and Choices.” Beyond Traffic examines the long-term and emerging trends affecting our Nation’s transportation system and the implications of those trends. It describes how demographic and economic trends, as well as changes in technology, governance, and our climate are affecting how people and goods travel today, and how they could affect travel in the future. It outlines choices that will require cities to think differently about how we move, how we move things, how we move better, how we adapt, and how we align decisions and dollars.Smartcities are emerging as a concept that can be used to address these issues starting today. The trends identified in Beyond Traffic have major implications for cities. Cities deliver many benefits – greater employment opportunities, greater access to healthcare and education, and greater access to entertainment, culture and the arts.As a result, people are moving to cities at an unprecedented rate. Our population is expected to grow by 70 million over the next 30 years, and most of this population growth will be concentrated in metropolitan areas or cities. Growing urbanization will continue to put significant strain on city infrastructure and transportation networks.
Transportation is critical to making a city work. Many cities see advantagesin urbanization, but these cities are also saddled with concentrated growth, shrinking revenues,and increased transportation demand. Inefficiencies in our transportation system cost Americans, on average, each over 40 hours stuck in traffic each year – an annual financial cost of $121 billion. At the same time, research indicates that cities account for 67% of all greenhouse gases (GHGs) released into the atmosphere. The transportation sector is the second-biggest source of GHG emissions, responsible for emitting 28% of GHGs into the atmosphere.
To overcome these challenges, cities must find ways to foster the emergenceof technologies that have the potential to transform transportation. A number of trends in technology are taking place. How we collect and analyze data, how communications and mobile platforms evolve, and when connected and automated vehicle technologies emerge,are questions that hold the promise of making our future transportation system safer, more accessible and efficient, and more environmentally sustainable.
With Intelligent Transportation Systems (ITS) laying the groundwork for innovative transportation solutions, many cities are currently serving as laboratories for new types of transportation services.Smartcities are emerging as a next-generation approach for city management, taking the steps forward along the transportation technology continuum. Integrating ITS, connected vehicle technologies, automated vehicles, and other advanced technologies – along with new mobility concepts that leverage the sharing economy – within the context of a city provides the enhance travel experiences and make moving people and goods safer, more efficient, and more secure. By enhancing the effective management and operation of the transportation system, smart city solutions can leverage existing infrastructure investments, enhance mobility, sustainability, and livability for citizens and businesses, and greatly increase the attractiveness and competitiveness of cities and regions.
4.VISION AND GOALS OF A SMART CITY
This section describes the USDOT’s vision of a successful Smart City, and the specific goals that collectively describe important elements of the planned demonstration.
The USDOT recognizes that each city has unique attributes, and each city’s proposed demonstration will be tailored to their vision and goals. This section serves to present the USDOT’s high-level vision and goals without making each item a requirement for award. Rather, this section is designed to provide a framework for applicants to consider in the development of a city’s proposed demonstration.
Specific goals of the Smart CityChallenge include:
- Identify the transportation challenges and needs of the citizen and business community and demonstrate how advanced technologies can be used to address issues in safety, mobility, and climate change, now and into the future.
- Determine which technologies, strategies, applications, and institutional arrangements demonstrate the most potential to address and mitigate, if not solve, transportation challenges identified within a city.
- Support and encourage cities to take the evolutionary and revolutionary steps to integrate advanced technologies – including connected and automated vehicle technologies – into the management and operations of the city, consistent with the USDOT vision elements.
- Demonstrate, quantify, and evaluate the impact of these advanced technologies, strategies, and applications towards improved safety, efficiency, and sustainable movement of people and goods.
- Examine the technical, policy, and institutional mechanisms needed for realizing the potential of these strategies and applications – including identifying technical and policy gaps and issues – and work with partners to address them.
- Assess reproducibility and qualify successful smartcity systems and services for technology and knowledge transfer to other cities facing similar challenges.
The USDOT’s vision for the Smart CityChallengeisto identify an urbanized area where advanced technologies are integrated into the aspects of a city and play a critical role in helping cities and their citizens address challenges in safety, mobility, sustainability, economic vitality, and address climate change.These challenges in transportation will be met by advancements in ITS, connected and automated vehicles, to name a few.Managementsystemswithin a smart city– both within transportation and across other sectors of a city – share information and data to communicate between cities and their citizens allowing citizens to achieve benefits by maximizingefficiencies based on the intelligent management of assets and sharing information usingintegrated technology solutions and use of this information by the public and industry.
The USDOT’s ideal Smart Citywould be a mid-sized city with a population between approximately200,000 and 850,000 people within the city (Census-designated place) limits using 2010 Census data; a dense urban population; an environment conducive to demonstrating proposed strategies;an existing public transportation system; and commitment to integrating transportation services with the sharing economy.This city (Census place) would ideally include a significant share (greater than 15%) of the population of its urbanized area. The ideal site would have continuity of committed leadership, authority, and capacity to carry out the demonstration throughout the period of performance and continue operation after the period of performance is over. The proposed site – or the geographic area of the demonstration – should generally be a separate and independent city preferably with a central business district. Cities with existing, robust advanced transportation infrastructure – includingITS equipment, an existing traffic management center (TMC), and shared use transportation options (e.g., bikeshare and carshare) – are good candidates that have the groundwork needed for proposed demonstration sites to build upon. Cities with existing commitments to managing their data as a strategic asset and making open, machine-readable data available to the public – subject to applicable privacy, security and other safeguards – are also good candidates that have the necessary policy infrastructure to fuel entrepreneurship and innovation to improve citizens’ lives, create jobs, and spur economic development.